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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 1999-08-19 |
| CT | RA | APPROVED | 1992-01-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Old Lyme | CT | 08/1989 | Present |
| Bank Of America,N.A. | Mystic | CT | 06/2011 | Present |
I*4766267, Entity Type: , Name of OBA: The Enclave at Barn Island HOA, Address: Pawcatuck, Connecticut, 06379, Investment Related: N, Position, Title, Association: ["Board Member"], Employee Start Date: 07/20/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Board member: To make informed, prudent decisions, Acting in good faith for the entire community. Staying within scope, that is local laws and HOA governing documents. Oversee landscaping and snow removal contractors. To advise on the management of our Homeowner's association
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 1989-11-10 |
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